Susan M. Diamond - 01 Aug 2023 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Issuer symbol
HUM
Transactions as of
01 Aug 2023
Net transactions value
-$66,430
Form type
4
Filing time
03 Aug 2023, 11:42:54 UTC
Previous filing
05 Jun 2023
Next filing
03 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +311 +9.9% $0.000000 3,442 01 Aug 2023 Direct
transaction HUM Humana Common Tax liability $66,430 -145 -4.2% $458.14 3,297 01 Aug 2023 Direct F12
holding HUM Humana Common 2,145 01 Aug 2023 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HUM Restricted Stock Units Options Exercise $0 -311 -100% $0.000000* 0 01 Aug 2023 Humana Common 311 Direct F6, F8
holding HUM Options 1,508 01 Aug 2023 Humana Common 1,508 $376.61 Direct F2
holding HUM Options 3,793 01 Aug 2023 Humana Common 3,793 $428.68 Direct F3
holding HUM Options 5,562 01 Aug 2023 Humana Common 5,562 $425.06 Direct F4
holding HUM Options 6,810 01 Aug 2023 Humana Common 6,810 $510.24 Direct F5
holding HUM Restricted Stock Units 367 01 Aug 2023 Humana Common 367 Direct F6, F7
holding HUM Restricted Stock Units 1,024 01 Aug 2023 Humana Common 1,024 Direct F6, F9
holding HUM Restricted Stock Units 1,764 01 Aug 2023 Humana Common 1,764 Direct F6, F10
holding HUM Phantom Stock Units 323 01 Aug 2023 Humana Common 323 See Footnote. F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held for the benefit of the reporting person as of June 30, 2023 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F2 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F3 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
F4 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
F5 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
F6 Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
F7 Restricted stock units granted to reporting person on 02/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23.
F8 Restricted stock units granted to reporting person on 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
F9 Restricted stock units granted to reporting person on 02/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24.
F10 Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.
F11 Phantom Stock Units held for the benefit of reporting person as of June 30, 2023 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.
F12 Shares disposed of represent payment of tax liability resulting from vesting of restricted shares on 8/1/23.